HACCP – Basic notions
1 HACCP – Basic notions
General Objectives
- Conhecer a necessidade de efectuar procedimentos de
controlo e monitorização;
- Reconhecer a importância de implementar programas de prérequisitos;
- Compreender o sistema HACCP e o autocontrolo como
ferramentas de segurança alimentar.
Index
1 Advantages and disadvantages of the HACCP system
3
2 Pre-Requisites of the HACCP system
4
3 HACCP system principles
5
4 Stages for implementing the HACCP system
5
4.1Assemble HACCP team
6
4.2 Describe product
6
4.3 Identify intended use
7
4.4 Construct process Flow Diagram and Plant Schematic
7
4.5 On-site verification of Flow Diagram and Plant Schematic
8
4.6 List hazards associated with each step, conduct a hazard analysis and
consider measures to control the identified hazards
8
4.7 Determine CCP
9
4.8 Establish critical limits for CCP
12
4.9 Establish monitoring procedures for each CCP
12
4.10 Establish corrective actions
12
4.11 Establish verification procedures
13
4.12 Establish record keeping/documentation for principles
13
5 Bibliography
14
2 HACCP – Basic notions
HACCP – Basic notions
HACCP is a preventive control
system that aims for food
safety. It’s an organized,
systematic and scientific
method, as well as a
documented and verifiable
contribution to the
implementation of surveillance
systems in manufacturing
processes. This system is
internationally recognized
which allows it to be applied
to food industries worldwide,
as well as to other sectors at
input and output ends.
Furthermore, it also permits
the identification and analysis
of hazards related to the
different states of the food
manufacturing process, the
definition of the means
necessary to control these
hazards and the guarantee that
those means are efficiently
applied.
The HACCP system first
emerged in the sixties by joint
effort of the Pillsbury
Company, the USA army
laboratories and NASA
(National Aeronautics and
Space Administration) which
intended to develop safe food
for cosmonauts of the
American Space Programme. A
100% guarantee that these
products were not
contaminated with
microbiological, physical and
/or chemical hazards that
could cause health
disturbances to the consumer
was demanded. Therefore, the
Pillsbury Company introduced
and adopted HACCP as a
system to guarantee maximum
safety of products at the same
time that it reduced its
dependence on product
inspections. The part related
to hazard analysis was adapted
to food industries needs based
on techniques that were
already developed for by other
industries. Other concepts,
such as the definition of
critical points were
progressively added. So,
HACCP is a systematic
approach to prevent and
control potential health
hazards in food operations. It
acts as an identification and
analysis tool of the critical
points in different process
stages, permitting
simultaneously the
establishment of the means
necessary to control those
points and the application of a
proactive instead of reactive
surveillance. From that point
on, the Pillsbury Company
Factories implemented HACCP
and between 1971 and 1980
helped other companies
develop this kind of selfcontrol. But only after 1985
was it possible to witness great
3 HACCP – Basic notions
expansion of the HACCP
system.
In Europe, the HACCP system
only became relevant after
1990 with the formulation of
legislation derived from the
alterations of hygiene
regulations. The transposition
of HACCP to the European
community was officially done
with the publication of
Directive 93/43/CEE of 14 June
1993 and the transposition to
national juridical order was
achieved by Decree-law n. º
67/98 of 18 March, by
mandatory self-control,
afterwards amended by
Decree-law n. º 425/99 of 21
October. In 2004, the European
Community promulgated
Regulation (EC) n. º 852/2004
of the European Parliament
and Council of 29 April, which
lays down the general rules
regarding foodstuffs hygiene.
1
Advantages
and
disadvantages of the HACCP
system
Advantages of the HACCP
System
- Optimizes technical and
human resources used asides
from guiding them to critical
activities;
- Facilitates more efficient
self-control actions, mostly
with a less probability of
occurring flaws/accidents and
frauds;
- Establishes a confident
environment before official
authorities, economical agents
and consumers in general in
terms of food safety;
- Motivates personnel training;
- Gives a global and objective
vision of what effectively goes
on in the company;
- Permits the reduction of no
quality costs, since it is based
on a preventive philosophy of
reducing costs and waste;
- It is recommended by the
World Health Organisation
(WHO), International
Commission of Microbiological
Specifications for Food (ICMSF)
and the Food and Agriculture
Organisation (FAO);
- It can be used as defence
evidence against legal actions;
- It’s a complement to other
management systems, namely
quality management systems;
- It’s applicable to the whole
food chain;
- It can be used to introduce
food safety in the development
of new products;
- It’s an internationally
recognized and considered
efficient system;
- Promotes change in company
politics and practices from
retrospective quality control to
preventive guarantee of
quality.
4 HACCP – Basic notions
Disadvantages of the HACCP
System
- Requires technical, human
and material resources not
always available at the
company;
- Requires sincere effort and
involvement of all elements of
the organisation;
- Demands time availability;
- Implicates a change in
attitude;
- Requires detailed technical
data and constant updating;
- Requires conserving
information for a simple way of
interpretation;
- Requires concentrated
actions of all participants of
the food chain.
2 Pre-Requisites of the HACCP
system
Health safety is the result of
the implementation by food
business of pre-requisite
programmes and procedures
based on HACCP principles.
Pre-requisite programmes are
the basis for an effective
implementation of HACCP and
should be implemented before
the HACCP system is
established.
Pre-requisite programmes are
defined as universal
procedures or stages that
control operational conditions
inside a food business, allowing
the installation of environment
conditions favourable to the
manufacture of safe food.
When one intends to
implement HACCP to a
company the first step is to
asses existing programmes and
to verify if all requirements
are met. It is also necessary to
verify if all controls are carried
out and if the correct
documentation exists and is
used. It’s important to keep
evidence that validates the
effectiveness of these
programmes and compliance
with requirements.
5 HACCP – Basic notions
3 HACCP system principles
4 Stages for implementing the
HACCP system
The HACCP system consists of 7
principles:
Principle 1 - Identify any
hazards that must be
prevented, eliminated or
reduced to acceptable levels;
Principle 2 - Identify the
critical control points (CCP) to
control identified hazards;
Principle 3 - Establish critical
limits that should be respected
to ensure that each CCP is
under control;
Principle 4 – Establish a
monitoring system to assure
that CCP are under control;
Principle 5 - Establish
corrective actions when
monitoring indicates that a
critical control point is not
under control;
Principle 6 - Establish
verification procedures that
confirm proper functioning of
the HACCP system;
Principle 7 - Organize
documents regarding all
procedures and records related
to these principles and to their
application.
Applying HACCP principles
consist of the following stages:
1st stage
Assemble HACCP team;
nd
2 stage
Describe product;
3rd stage
Identify intended use;
4th stage
Construct process Flow
Diagram and Plant Schematic
5th stage
On-site verification of Flow
Diagram and Plant Schematic
6th stage
List hazards associated with
each step, conduct a hazard
analysis and consider measures
to control the identified
hazards;
7th stage
Determine CCP;
8th stage
Establish critical limits for
CCP;
9th stage
Establish monitoring
procedures for each CCP;
10th stage
Establish corrective actions;
11th stage
Establish verification
procedures;
12th stage
Establish record
keeping/documentation for
principles
6 HACCP – Basic notions
4.1Assemble HACCP team
The first stage for
implementing HACCP is
assembling a HACCP team. This
team is responsible for the
development, implementation
and maintenance of the system
in the business.
The team should be
multidisciplinary, made up of
technicians specialists in the
various areas important to the
industrial transformation of
food, such as: microbiology,
chemistry, quality, production,
maintenance and technology.
It is extremely important when
assembling a team that at
least one person that works in
production is part of it too,
this is essential to implement a
perfect HACCP system since
these persons know how the
productive process works best.
If the business does not have
such technicians with a degree
or knowledge of the above
referred areas, then it should
resort to external technicians
that have the knowledge about
possible health risks.
The HACCP team is
responsible for:
- Developing a HACCP plan;
- Supervising the functioning of
the system;
- Keeping documents (system
records);
- Writing up periodic
information for the board of
directors;
- Modifying and revising the
plan;
- Motivating and training all
personnel involved;
- Marking and carrying out
internal audits.
4.2 Describe product
Describing the product is
important for implementing
the HACCP system, not only
because it contributes to the
familiarization of the product
in studies by the HACCP team,
but also because it represents
an introduction and a
reference point for the HACCP
plan.
For an efficient
implementation of the system
all data on the product must
be collected so that it is
possible to know every detail
about it, this will enable the
identification of possible
hazards inherent to the
ingredients used for producing
a product or packaging
materials. The description of
the product must contain
several aspects, such as:
- Composition (raw materials,
ingredients, additives, etc.);
- Structural, physical and
chemical characteristics
essentially those that may
7 HACCP – Basic notions
promote its safety (available
water, pH, etc.);
- Processing (freezing, heating,
drying, smoking, etc.);
- Type of package, including
material and packaging
conditions (modified
atmosphere, vacuum, etc.);
- How it is to be used and
distributed (ready to eat,
posterior processing, cook
before eating, etc.);
- Expiring date;
- Storing and transport
conditions (temperature,
humidity, etc.);
- Label instructions
(instructions on how to handle
and use);
- Special distribution control;
- Any microbiological or
chemical criteria applicable.
4.3 Identify intended use
The HACCP team must define
how the consumer should
normally use the product and
what target groups is the
product intended for. The
place where the product is to
be sold and target consumers
should be specified on the
product, especially if we are
dealing with risk groups
(pregnant women, elderly,
infants, etc.).
4.4 Construct process Flow
Diagram and Plant Schematic
A flux diagram of the process
should be developed with an
exact sequence of all
production stages and
time/temperature conditions
along the whole process. This
diagram should be based on
interviews, observation of
operations and other important
sources of information. The
diagram must indicate all steps
of the process (from reception
to expedition) used to produce
the product at hand and its
sequence, as well as the stages
in which they occur:
- Reception of raw materials
and intermediate products;
- Reusing or recycling of raw
materials/product;
- Removal of intermediate
products, sub-products or
waste;
- Potential ways of cross
contamination.
A plant schematic should also
be developed to show the flux
of the product and the traffic
that occurs inside the factory
by the collaborators. Personnel
flux must indicate the
collaborators movements
inside the factory, including
dressing rooms, W.C and
canteens. Localization of
faucets and bait points should
also be identified.
8 HACCP – Basic notions
4.5 On-site verification of
Flow Diagram and Plant
Schematic
The flow diagram and Plant
schematic should be verified
on-site after being concluded,
so that it is possible to correct
or add details that are
considered important. The Flux
diagram should be confirmed
alongside the whole process,
many times along working
hours, covering all operations
and involving all members of
the HACCP team.
4.6 List hazards associated
with each step, conduct a
hazard analysis and consider
measures to control the
identified hazards
The HACCP team must analyze
hazards that are reasonably
expected to happen by
identifying them and
eliminating or reducing tem to
acceptable levels which is
essential for obtaining safe
food. Before analyzing hazards
it is recommended to do some
bibliographical research first.
It is important to be as much
up to date as possible in terms
of available information,
existing studies or databases.
During hazard analysis some
questions must be considered:
- The probability of occurring
any hazards and it severity on
health;
- Qualitative/Quantitative
assessment of the presence of
hazards;
- Survival and multiplication
rate of pathogenic
microorganisms and
unacceptable levels of
chemicals in intermediate or
finished products;
- Production or presence of
toxins on food and other
unwanted products that derive
from microbial metabolism,
chemicals, physical objects or
allergens.
- Contamination (or
recontamination) of a
biological (microorganisms,
parasites), chemical or
physical nature from raw
materials, intermediate or
finished products;
- Points where incorrect
handling may occur;
- Identification of frequently
contaminated vehicles;
- Factors that contribute to
contamination of food.
9 HACCP – Basic notions
Probability
High
Average
Low
High
Average
Low
Severity
Figure 1 Example of a risk matrix
The above questions can be
implicitly approached on a risk
matrix. This tool allows hazard
analysis to be based on the
probability of occurring and
the related severity.
The shaded areas correspond
to
significant
hazards.
Therefore, a high severity
hazard but less likely to occur
is considered a significant
hazard.
This
analysis
should
be
conducted for each existing
product/process and for each
new product.
Additionally,
this
analysis
should be revised in case
process
alterations
occur
regarding
raw
material,
reformulations, etc.
For each identified hazard, the
control measures that can be
or are put into practice should
be considered and described, if
they exist.
One or more hazards can be
controlled by one measure (for
example: sterilization or heat
treatments that reduce the
contamination
level
of
pathogenic
microorganisms).
Control measures should be
based on detailed procedures
to guarantee an effective
implementation.
4.7 Determine CCP
The identification of a Critical
Control Point of a hazard
requires a logical approach.
This
approach
can
be
facilitated by using the Codex
Alimentarius decision tree.
Determining CCP´s is based on
the assessment of severity and
probability of a hazard to
happen and on what can be
done to eliminate, prevent or
reduce hazards in a certain
step. It is not necessary to
have a CCP for each identified
hazard; in the meantime,
10 HACCP – Basic notions
actions should be taken to
ensure
the
elimination,
prevention or reduction of all
hazards.
Question 1
This
questioned
can
be
answered as “yes” even if
control measures don’t exist
but can be implemented. If yes
is the answer then the measure
considered for this question
must be documented. If no is
the answer then the whole
process
needs
to
be
reformulated in order to
include these measures. Many
of these measures can be
associated to pre-requisites or
to good practices.
Question 2
This question refers to the
probability and severity of an
occurrence and should be
judged based on previously
collected data. In any case, it
is
always
interesting
to
document the basis of a
decision, at least for future
references.
Question 3
This question assesses the
probability
of
occurring
contamination in each specific
step.
Question 4
This question assesses the
capability of the process to
eliminate or reduce existing
hazards.
The critical control points can
be identified by using an
alphanumeric
combination.
This combination refers to the
order and type of CCP (Bbiological, C-chemical and Pphysical). For example: CCP-1B
refers to CCP n. º 1 of the
biological type. Like so, this
identification is the first stage
for developing the HACCP plan.
11 HACCP – Basic notions
Modify stage, process or
product
Q1 – Are preventive and control
measures possible for the hazard?
Yes
Yes
No
At this stage is control necessary to
guarantee safety?
Q2 – Does this stage eliminate or
reduce the hazard to an acceptable
level?
Not CCP
Yes
No
Q3 – Can contamination occur by the
hazard or by the increase of the hazard
to unacceptable values?
Yes
Not CCP
Q4 – Is there a next stage that
eliminates or reduces the hazard to
acceptable levels?
Picture 2 – Decision Tree
No
STOP
No
CCP
STOP
12 HACCP – Basic notions
4.8 Establish critical limits for
CCP
Each control measure
associated to a critical control
point should originate a
specific critical limit. The
critical limit corresponds to
the maximum acceptable value
considering product safety and
separates acceptability from
unacceptability. These criteria
must be in concordance with
applicable laws, sector or
internal regulations or any
other scientific information.
One or more limits can be
established to control each
hazard. These limits can be
established over various
factors (Examples:
temperature; time of
exposure; size; water
availability; humidity; pH,
etc.).
4.9 Establish monitoring
procedures for each CCP
An essential part of a HACCP
programme is to delineate
monitoring procedures to
assure compliance with the
established critical limits for
each CCP. Normally, these
procedures refer to activities
that are undergone during the
process or to tests that can be
quickly carried out. Monitoring
should always allow operation
follow ups and rapid actions in
case of any deviation.
Therefore, they should be able
to give real time information in
order to make decisions about
acceptability or not of a
product at that stage of the
process. Monitoring procedures
should be able to describe
methods, frequency of
observations or measurements,
associate records and identify
critical points, as well as
determine who proceeds with
the monitoring and recording.
Records of all monitoring
activities for each critical
control point should always
exist and should be signed by
the person who carried out the
monitoring.
4.10 Establish corrective
actions
Corrective actions planned by
the HACCP team should exist
for each CCP to be put in
practice when a deviation of
the critical limit is detected by
monitoring. These corrective
actions should include:
- Identification of the person
responsible for implementing
corrective actions;
- Description of means
necessary and of the corrective
action to correct the observed
deviation;
- Actions to put into practice
on products that were
processed during the time the
process was out of control;
13 HACCP – Basic notions
- Written records of measures
taken indicating all relevant
information.
One or more corrective actions
can be defined for each CCP.
In situations where corrective
actions have to be repeatedly
put in practice for the same
CCP, certain control measures
should be considered to
impede its occurrence.
4.11 Establish verification
procedures
This procedure is to verify if
the HACCP plan is valid and
operational. These activities
can include, for example,
microbiological analysis,
HACCP plan audits, HACCP
system audits, analysis of
deviations and corrective
actions carried out, gathering
of samples, etc.
4.12 Establish record
keeping/documentation for
principles
Records are essential to
determine compliance or not
with the HACCP plan. These
records should be defined (can
be in any format) and a
maintenance and conservation
methodology for these should
be established.
14 HACCP – Basic notions
5 Bibliography
Araújo, M.; “Segurança alimentar : os perigos para a saúde
através dos alimentos: o sistema de segurança HACCP : uma
abordagem para aplicação prática na restauração”; Meribérica
Líder; Lisboa;1997
Dillon, M. ; Griffith, C.; “How to HACCP : a management guide”;
3ª Edição; M. D. Associates. Lincolnshire; 2001
Loken, J. K.; “The HACCP food safety manual”; John Wiley &
Sons; New York; 1995
Mortimore,S.; Wallace C.; “HACCP : a practical approach
(Practical approaches to food control and food quality series)”;
Volume 1; Chapman & Hall; London; 1994
Otwell, W.S.; Garrido, Vitor M.; “Total quality assurance (TQA)
and hazard analysis and critical control point (HACCP) : Manual
for clam production and processing”; Florida Sea Grant; Florida;
1995
“Sistema de calidad e inocuidad de los alimentos: manual de
capacitación sobre de los alimentos y sobre el sistema de
análisis de peligros y de puntos críticos de control (APPCC)”;
Food and Agriculture Organization of the United Nations; FAO;
Roma; 2002
Codex Alimentarius Commission CAC/RCP 1-1969, Rev 4 (2003) –
“Recommended International Code of Practice – General
Principles of Food Hygiene”
15 HACCP – Basic notions